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Ying Zhao

A.G.P / Alliance Global Partners
19 Years of Experience
New York, NY
1 DisclosureBroker
View SEC Summary
View SEC Summary

Ying Zhao is a registered investment advisor at A.G.P / Alliance Global Partners, based in New York, NY, with 19 years of industry experience. Ying is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include High Net Worth, Investment Management, Retirement Planning. Their firm serves 6,959 clients with $2.3B in assets under management.

A.G.P / Alliance Global Partners
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
132 advisors
Number of Clients
6,959 clients
Average Client Portfolio
$331K average
Assets Under Management
$2.3B

Fee Structure

Minimum Investment:$10K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any3.00%

Fees are negotiable and range up to 3% for the Portfolio Adviser II and EPC programs, up to 2% for the Wrap Fee Program, and up to 2.5% for other third-party management programs.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

590 Madison Avenue, 28th Floor, New York, NY, 10022

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Employment Separation After Allegations
October 2012
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Ying is a partner in LAN Consulting LLC, a business consulting firm, though not currently engaged in the activity. Ying also works as a producer for Hollywood Films 3.0, dedicating a few hours per week to non-trading production and promotion.

Employment History
Current Registrations
A.G.P. / Alliance Global PartnersBroker
March 2021 - Present · 5 yrs 7 mos
A.G.P / Alliance Global Partners
March 2021 - Present · 5 yrs 7 mos
Previous Registrations
Stifel, Nicolaus & Company, IncorporatedBroker
July 2015 - March 2021 · 5 yrs 8 mos
Stifel, Nicolaus & Company, Incorporated
July 2015 - March 2021 · 5 yrs 8 mos
Sterne Agee Asset Management, INC.
October 2012 - July 2015 · 2 yrs 9 mos
Sterne, Agee & Leach, INC.Broker
October 2012 - July 2015 · 2 yrs 9 mos
Next Financial Group, INC.
February 2009 - October 2012 · 3 yrs 8 mos
Next Financial Group, INC.Broker
February 2009 - October 2012 · 3 yrs 8 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
August 2007 - February 2009 · 1 yr 6 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
July 2007 - February 2009 · 1 yr 7 mos
State Registrations17 states
ALCAFLGAKYMIMSNCNJNVNYPASCSDTNTXWA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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